Tag Archives: Form D

Can I Talk To the Press?

Q: My company is conducting a non-generally solicited offering under Rule 506(b). We have held our first closing and filed our Forms D with the SEC and various state securities departments. Now the press has picked up the Form D … Continue reading

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Questions From Adam Lieb, Founder of Duxter

The other day, Adam Lieb of Duxter and I had the chance to correspond with each other about the SEC’s now effective general solicitation rules and the SEC’s proposed rules regarding Regulation D and Form D.  Adam had a bunch of … Continue reading

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Meetup Thoughts Regarding Proposed Reg D and Form D Rules

At a meetup yesterday, someone asked me to comment on the proposed SEC rules regarding Reg D and Form D. Here is what I jotted down on the spot as comments someone could submit to the SEC: (1) The spirit … Continue reading

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What should you do before generally soliciting?

What happens on September 23rd? You can generally solicit your private company securities offering under Rule 506(c) of Regulation D. What are the drawbacks? 1. You can only accept “accredited investors.” What is an “accredited investor”? Generally this means a … Continue reading

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Pitfalls of The Proposed Regulation D Rules

There is an argument going around that the proposed Reg D rules are not that bad because they affect only companies that are going to generally solicit their Reg D securities offerings. This is simply not true. The SEC’s proposed … Continue reading

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